Rate adaptive transmission scheme for MIMO systems

ABSTRACT

A rate adaptive transmission scheme for MIMO systems, which can transmit a variable number of data symbol streams, provide transmit diversity for each data symbol stream, and fully utilize the total transmit power of the system and the full power of each antenna. In one method, at least one data symbol stream is received for transmission from a plurality of antennas. Each data symbol stream is scaled with a respective weight corresponding to the amount of transmit power allocated to that stream. The scaled data symbol stream(s) are multiplied with a transmit basis matrix to provide a plurality of transmit symbol streams for the plurality of antennas. The transmit basis matrix (e.g., a Walsh-Hadamard matrix or a DFT matrix) is defined such that each data symbol stream is transmitted from all antennas and each transmit symbol stream is transmitted at (or near) the full power for the associated antenna.

CLAIM OF PRIORITY UNDER 35 U.S.C. §119

The present Application for Patent claims priority to ProvisionalApplication No. 60/419,319 entitled “MIMO Signaling Schemes for RateAdaptive Systems,” filed Oct. 16, 2002, and assigned to the assigneehereof and hereby expressly incorporated by reference herein.

CLAIM OF PRIORITY UNDER 35 U.S.C. §120

The present Application for Patent is a continuation and claims priorityto U. S. patent application Ser. No. 10/367,234 entitled “Rate AdaptiveTransmission Scheme for MIMO System” filed Feb. 14, 2003, now U. S. Pat.No. 6,873,606, and assigned to the assignee hereof and hereby expresslyincorporated by reference herein.

BACKGROUND

I. Field of the Invention

The present invention relates generally to data communication, and morespecifically to a rate adaptive transmission scheme for multiple-inputmultiple-output (MIMO) communication systems.

II. Background

A MIMO system employs multiple (N_(T)) transmit antennas and multiple(N_(R)) receive antennas for data transmission. A MIMO channel formed bythe N_(T) transmit and N_(R) receive antennas may be decomposed intoN_(S) independent channels, where N_(S)≦min{N_(T), N_(R)}. Each of theN_(S) independent channels corresponds to a dimension. The MIMO systemcan provide improved performance (e.g., higher throughput and/or greaterreliability) if the additional dimensionalities created by the multipletransmit and receive antennas are utilized.

In a wireless communication system, data to be transmitted is typicallyprocessed (e.g., coded and modulated) to provide data symbols. For aMIMO system, one or multiple streams of data symbols may be sent from atransmitter to a receiver. Multiple data symbol streams may betransmitted in parallel from multiple transmit antennas using spatialmultiplexing, which exploits the additional dimensionalities of the MIMOchannel. To attain high throughput, it is desirable to transmit as manydata symbol streams in parallel as possible. However, the number of datasymbol streams that may be transmitted and the rates that may be usedfor these streams are typically dependent on the channel condition.Various transmission schemes for spatial multiplexing are currentlyavailable, including (1) an “antenna multiplexing” scheme that transmitsone data symbol stream from each antenna and (2) an “eigenmodemultiplexing” scheme that transmits one data symbol stream on eachindependent channel of the MIMO channel.

Alternatively, a single data symbol stream may be transmitted frommultiple transmit antennas using transmit diversity to increasereliability of the data transmission. Diversity is achieved by the useof multiple transmit antennas as well as multiple receive antennas toprovide a number of propagation paths for the data symbol stream.Transmit diversity may be used if greater reliability is desired or ifthe channel condition is so poor that it is better to use all of theavailable transmit power for one data symbol stream. Varioustransmission schemes for transmit diversity are currently available,including (1) a “space-time diversity” scheme described by S. M.Alamouti in a paper entitled “A Simple Transmit Diversity Technique forWireless Communications,” IEEE JSAC, October 1998, and (2) a “delaydiversity” scheme described by B. Raghothaman et al. in a paper entitled“Performance of Closed Loop Transmit Diversity with Feedback Delay,”Thirty-Fourth Asilomar Conference on Signals, Systems and Computers,2000.

To achieve high performance, a MIMO system may be designed to supportone or more transmission schemes for spatial multiplexing and one ormore transmission schemes for transmit diversity. For such a MIMOsystem, in any given transmission interval, a specific transmissionscheme may be selected for use depending on the channel condition andthe desired result (e.g., higher throughput or greater reliability).However, conventional transmission schemes for spatial multiplexing areoften quite different in design from conventional transmission schemesfor transmit diversity. Thus, the complexity of the transmitter andreceiver in the system may be greatly increased if they are required tosupport multiple (and different) transmission schemes for spatialmultiplexing and transmit diversity. Moreover, for high performance, itis desirable to fully utilize the total transmit power available for thesystem and the full power available for each of the N_(T) transmitantennas for data transmission, regardless of the number of data symbolstreams being transmitted.

There is therefore a need in the art for a transmission scheme that cansupport spatial multiplexing, provide transmit diversity, and fullyutilize the available transmit power in MIMO systems.

SUMMARY

A rate adaptive transmission scheme that supports spatial multiplexingand provides transmit diversity for MIMO systems is provided herein. Therate adaptive transmission scheme has a number of desirablecharacteristics, including: (1) support transmission of a variablenumber of data symbol streams, thus making it suitable for use in rateadaptive systems, (2) provide transmit diversity for each data symbolstream, and (3) allow the full power available for each transmit antennato be used for data transmission regardless of the number of data symbolstreams being transmitted, thus making it power efficient. The rateadaptive transmission scheme is well suited for single-carrier MIMOsystems and may also be used for multi-carrier MIMO systems.

In an embodiment, a method is provided for processing data fortransmission in a MIMO system. In accordance with the method, at leastone stream of data symbols is received for transmission from a pluralityof transmit antennas. Each data symbol stream is scaled with arespective weight corresponding to the amount of transmit powerallocated to that data symbol stream. The total amount of transmit powerallocated to all of the at least one data symbol stream is less than orequal to the total transmit power available for the system. The scaleddata symbol stream(s) are then multiplied with a transmit basis matrixto provide a plurality of streams of transmit symbols, one transmitsymbol stream for each transmit antenna.

The transmit basis matrix is defined such that (1) each data symbolstream is transmitted from the plurality of transmit antennas and (2)each transmit symbol stream is transmitted at (or near) the full poweravailable for the associated antenna. The transmit basis matrix may be aWalsh-Hadamard matrix, a discrete Fourier transform (DFT) matrix, orsome other matrix.

Various aspects and embodiments of the invention are described infurther detail below.

BRIEF DESCRIPTION OF THE DRAWINGS

The features, nature, and advantages of the present invention willbecome more apparent from the detailed description set forth below whentaken in conjunction with the drawings in which like referencecharacters identify correspondingly throughout and wherein:

FIG. 1 shows a flow diagram of a process for transmitting N_(D) datasymbol streams from N_(T) antennas using the rate adaptive transmissionscheme;

FIG. 2 shows a block diagram of a transmitter system and a receiversystem in a MIMO system;

FIG. 3 shows the spatial processing at the transmitter and receiversystems for the rate adaptive transmission scheme; and

FIG. 4 shows a block diagram of a transmit (TX) spatial processor withinthe transmitter system.

DETAILED DESCRIPTION

A rate adaptive transmission scheme for MIMO systems is describedherein. For a multi-carrier MIMO system, the transmission scheme may beused for each of the multiple carriers available for data transmission.For clarity, the rate adaptive transmission scheme is described belowfor a single-carrier MIMO system.

For a single-carrier MIMO system, the MIMO channel formed by the N_(T)transmit and N_(R) receive antennas may be decomposed into N_(S)independent channels, with N_(S)≦min {N_(T), N_(R)}. The number ofindependent channels is determined by the number of eigenmodes for theMIMO channel, which in turn is dependent on a channel response matrix Hthat describes the response between the N_(T) transmit and N_(R) receiveantennas. For simplicity, the description below assumes that N_(T)≦N_(R)and that the channel response matrix H is full rank (i.e.,N_(S)=N_(T)≦N_(R)). With these assumptions, for each symbol period, upto N_(T) symbols may be transmitted in parallel from the N_(T) transmitantennas.

The model for a single-carrier MIMO system may be expressed as:y =Hx+n,   Eq (1)where x is an {N_(T)×1} “data” vector with N_(T) entries for the datasymbols to be transmitted from the N_(T) transmit antennas;

-   -   y is an {N_(R)×1} “receive” vector with N_(R) entries for the        symbols received via the N_(R) receive antennas;    -   H is the {N_(R)×N_(T)} channel response matrix; and    -   n is a vector of additive white Gaussian noise (AWGN).        The data vector x is assumed to be such that E[xx ^(H)]=I, where        E is the expectation operation, “^(H)” is the conjugate        transpose, and I is the identity matrix with ones along the        diagonal and zeros everywhere else. The vector n is assumed to        have zero mean and a covariance matrix of Λ_(n)=σ²I , where σ²        is the variance of the noise.

In a typical system, there are constraints on (1) the total transmitpower, P_(tot), that may be used for all N_(T) transmit antennas and (2)the maximum or full power, P_(ant), for each transmit antenna.Typically, the per-antenna power P_(ant) is given asP_(ant)=P_(tot)/N_(T). These constraints may be imposed by (1)limitation of the power amplifier used to drive each transmit antenna,(2) regulatory requirements, and (3) possibly other factors. The modelfor a MIMO system with these power constraints may then be expressed as:

$\begin{matrix}{{\underset{\_}{y} = {{\sqrt{\frac{P_{tot}}{N_{T}}}\underset{\_}{H\; x}} + \underset{\_}{n}}},} & {{Eq}\mspace{14mu}(2)}\end{matrix}$where √{square root over (P_(tot)/N_(T) )} is a scaling factor thataccounts for the total and per-antenna power constraints.

In one conventional transmission scheme, N_(D) data symbol streams aretransmitted concurrently from the N_(T) transmit antennas using antennamultiplexing, where N_(D) may be any integer from 1 to N_(T) (i.e.,N_(T)≧N_(D)≧1). For this conventional transmission scheme, in any givensymbol period, N_(D) data symbols are transmitted simultaneously fromN_(D) antennas, and the (N_(T)-N_(D)) remaining antennas are not used.If the total transmit power and the per-antenna power are constrained asdescribed above, then this transmission scheme will exhibit a power lossif fewer than N_(T) antennas are used for data transmission, which isthe case if N_(D)<N_(T). Because of the per-antenna power constraint,more of the total transmit power P_(tot) cannot be allocated to theN_(D) antennas used for data transmission when N_(D)<N_(T). Moreover, ifthe N_(D) data symbol streams are redundant (i.e., the same) streams,then there is a risk of cancellation of these streams at the receiver.

The specific number of data symbol streams to transmit may be dependenton various factors such as, for example, the channel condition, theamount of data to transmit, and so on. As noted above, differentindependent channels may experience different channel conditions andachieve different signal-to-noise ratios (SNRs). For a rank deficientMIMO channel, the optimal strategy is to transmit fewer than N_(T) datasymbol streams but allocate more of the total transmit power P_(tot) tothe data symbol streams that achieve higher SNRs. However, for theantenna multiplexing transmission scheme described above whereby eachdata symbol stream is transmitted from one antenna, the optimalallocation of the total transmit power cannot be achieved because of theper-antenna power constraint. As a result, some loss in performance willoccur.

The rate adaptive transmission scheme described herein supports spatialmultiplexing, provides transmit diversity, and has the followingbeneficial features:

-   -   Support the transmission of a variable number of data symbol        streams (from one to N_(T)) using the same transmit and receive        spatial processing while retaining key characteristics.    -   Provide better performance than the space-time diversity scheme        for a single data symbol stream via transmission from all N_(T)        transmit antennas.    -   Allow the full power P_(ant) of each of the N_(T) transmit        antennas to be used for data transmission, regardless of the        number of data symbol streams being transmitted, thus making it        power efficient with no power loss when fewer than N_(T) data        symbol streams are being transmitted.    -   Allow for flexible allocation of the total transmit power        P_(tot) among the data symbol streams being transmitted.        The rate adaptive transmission scheme and its beneficial        features are described in further detail below.

The general model for a single-carrier MIMO system and applicable forthe rate adaptive transmission scheme may be expressed as:y =HMΛx +n =H _(eff) Λx +n =H{tilde over (x)} +n ,  Eq (3)where M is an {N_(T)×N_(T)} transmit basis matrix, which is a unitarymatrix;

-   -   Λ is an {N_(T)×N_(T)} diagonal matrix;    -   {tilde over (x)} is an {N_(T)×1} “transmit” vector with N_(T)        entries for N_(T) transmit symbols sent from the N_(T) transmit        antennas; and    -   H _(eff) is an “effective” channel response matrix, which is        defined as H_(eff)=HM.        A unitary matrix U is characterized by the property U^(H)U =I ,        which indicates that each column of the unitary matrix is        orthogonal to all other columns of the matrix, and each row of        the unitary matrix is also orthogonal to all other rows. The        diagonal matrix Λ contains non-negative real values along the        diagonal and zeros everywhere else. These diagonal entries are        indicative of the amount of transmit power allocated to the        N_(D) data symbol streams being transmitted.

As described in further detail below, the diagonal matrix Λ may be usedto allocate different transmit powers to the N_(D) data symbol streamswhile conforming to the total transmit power constraint of P_(tot). Thetransmit basis matrix M allows each data symbol stream to be sent fromN_(T) transmit antennas and further allows the full power P_(ant) ofeach transmit antenna to be utilized for data transmission.

From equation (3), the transmit vector {tilde over (x)} may be expressedas:{tilde over (x)}=MΛx.  Eq (4)The transmit symbol {tilde over (x)}_(k) for the k-th transmit antenna(i.e., the k-th element of the transmit vector {tilde over (x)}) may beexpressed as:

$\begin{matrix}{{{\overset{\sim}{x}}_{k} = {\sum\limits_{i = 1}^{N_{T}}{M_{k,i} \cdot \lambda_{i,i} \cdot x_{i}}}},\mspace{14mu}{{{for}\mspace{14mu} k} \in K},} & {{Eq}\mspace{14mu}(5)}\end{matrix}$where M_(k,i) is the element in the k-th row and i-th column of thetransmit basis matrix M;

-   -   λ_(i,i) is the i-th diagonal element of the matrix Λ;    -   x_(i) is i-th element of the data vector x;    -   {tilde over (x)}_(k) is the k-th element of the transmit vector        {tilde over (x)}; and    -   K is the set of all transmit antennas (i.e., K={1, 2, . . .,        N_(T)}).

Equation (3) represents the general model that covers both equations (1)and (2). This is achieved by properly defining the transmit basis matrixM and the diagonal matrix Λ. For example, equation (3) can be made equalto equation (2) by (1) defining the transmit basis matrix M as M =[m₁ m₂. . . m_(N) _(T) ], where m _(i) is an {N_(T)×1} “index” vector for thei-th column of M and is defined with “1” at the i-th position and “0”elsewhere, and (2) defining the diagonal matrix Λ as Λ=√{square rootover (P_(tot)/N_(T))} I. However, other beneficial characteristics maybe obtained by defining the transmit basis matrix M and the diagonalmatrix Λ in some other manner, as described below.

For the following analysis, consider an arbitrary transmit basis matrixM and an arbitrary diagonal matrix Λ with non-negative diagonal entries.The transmit power for the vector x is equal to the sum of the square ofthe diagonal elements of Λ. The total transmit power constraint may thenbe expressed as:trace (Λ²)≦P _(tot).  (6)

From equation (5), the transmit power for each of the N_(T) transmitantennas may be expressed as:

$\begin{matrix}{{{E\lbrack {{\overset{\sim}{x}}_{k} \cdot {\overset{\sim}{x}}_{k}^{*}} \rbrack} = {\sum\limits_{i = 1}^{N_{T}}{{M_{k,i}}^{2} \cdot \lambda_{i,i}^{2}}}},{{{for}\mspace{14mu} k} \in K},} & {{Eq}\mspace{14mu}(7)}\end{matrix}$where “*” denotes the complex conjugate. The per-antenna powerconstraint may then be expressed as:

$\begin{matrix}{{{{\sum\limits_{i = 1}^{N_{T}}{{M_{k,i}}^{2} \cdot \lambda_{i,i}^{2}}} \leq P_{ant}} = \frac{P_{tot}}{N_{T}}},{{{for}\mspace{14mu} k} \in {K.}}} & {{Eq}\mspace{14mu}(8)}\end{matrix}$

Since trace (Λ²)≦P_(tot) as shown in equation (6), the per-antenna powerconstraint in equation (8) may be satisfied by any full rank matrix Mwhose elements satisfy the following:

$\begin{matrix}{{{M_{k,i}}^{2} = \frac{1}{N_{T}}},{{{for}\mspace{14mu} i} \in {K\mspace{14mu}{and}\mspace{14mu} k} \in {K.}}} & {{Eq}\mspace{14mu}(9)}\end{matrix}$Equation (9) indicates that the elements of a valid matrix M havemagnitude equal to 1/√{square root over (N_(T))}. Equation (9)represents a sufficient condition (but not a necessary condition) neededto satisfy the per-antenna power constraint.

The matrix M may be defined in various manners while satisfying theper-antenna power constraint. In one embodiment, the matrix M is definedas:

$\begin{matrix}{{\underset{\_}{M} = {\frac{1}{\sqrt{N_{T}}}\underset{\_}{W}}},} & {{Eq}\mspace{14mu}(10)}\end{matrix}$where W is a Walsh-Hadamard matrix. As illustration, for N_(T)=4, theWalsh-Hadamard matrix W_(4×4) may be expressed as:

$\begin{matrix}{{\underset{\_}{W}}_{4 \times 4} = {\begin{bmatrix}1 & {1} & 1 & {1} \\1 & {- 1} & 1 & {- 1} \\1 & 1 & {- 1} & {- 1} \\1 & {- 1} & {- 1} & 1\end{bmatrix}.}} & {{Eq}\mspace{14mu}(11)}\end{matrix}$A larger size Walsh-Hadamard matrix W_(2N×2N) may be defined as:

$\begin{matrix}{{\underset{\_}{W}}_{2N \times 2N} = {\begin{bmatrix}{\underset{\_}{W}}_{N \times N} & {{\underset{\_}{W}}_{N \times N}} \\{\underset{\_}{W}}_{N \times N} & {- {\underset{\_}{W}}_{N \times N}}\end{bmatrix}.}} & {{Eq}\mspace{14mu}(12)}\end{matrix}$

In another embodiment, the matrix M is defined as:

$\begin{matrix}{{\underset{\_}{M} = {\frac{1}{\sqrt{N_{T}}}\underset{\_}{Q}}},} & {{Eq}\mspace{14mu}(13)}\end{matrix}$where Q is a discrete Fourier transform (DFT) matrix. As illustration,for N_(T)=4, the DFT matrix Q_(4×4) may be expressed as:

$\begin{matrix}{{\underset{\_}{Q}}_{4 \times 4} = {\begin{bmatrix}1 & 1 & 1 & 1 \\1 & {\mathbb{e}}^{{- {j2\pi}}/4} & {\mathbb{e}}^{{- {j4\pi}}/4} & {\mathbb{e}}^{{- {j6\pi}}/4} \\1 & {\mathbb{e}}^{{- {j4\pi}}/4} & {\mathbb{e}}^{{- {j8\pi}}/4} & {\mathbb{e}}^{{- {j12\pi}}/4} \\1 & {\mathbb{e}}^{{- {j6\pi}}/4} & {\mathbb{e}}^{{- {j12\pi}}/4} & {\mathbb{e}}^{{- {j18\pi}}/4}\end{bmatrix}.}} & {{Eq}\mspace{14mu}(14)}\end{matrix}$In general, an N×N DFT matrix Q_(N×N) may be defined such that the(k,i)-th entry, q_(k,i) ^(N), is given as:

$\begin{matrix}{{q_{k,i}^{N} = {\mathbb{e}}^{{- j}\; 2\pi\frac{{({k - 1})}{({i - 1})}}{N}}},{{{for}\mspace{14mu} k} = {{\{ {1\mspace{14mu}\ldots\mspace{14mu} N} \}\mspace{14mu}{and}\mspace{14mu} i} = \{ {1\mspace{14mu}\ldots\mspace{14mu} N} \}}},} & {{Eq}\mspace{14mu}(15)}\end{matrix}$where k is the row index and i is the column index for the matrixQ_(N×N). The matrix M may also be defined with various other matrices,and this is within the scope of the invention.

By using an appropriate transmit basis matrix M and an appropriatediagonal matrix Λ, the total transmit power constraint and theper-antenna power constraint can both be satisfied. In particular, thetotal transmit power constraint may be satisfied by defining thediagonal elements of Λ such that equation (6) is satisfied. Theper-antenna power constraint may then be satisfied by defining theelements of M such that equation (9) is satisfied. Each diagonal elementλ_(i,i) in Λ is indicative of the amount of transmit power to use for anassociated data symbol stream x_(i). Since there is no constraint on thevalue of any individual diagonal element of Λ, except that λ_(i,i)²=P_(tot), the total transmit power P_(tot) may be allocated to theN_(D) data symbol streams in various manners while still satisfying thetotal transmit power and the per-antenna power constraints. This thenaffords great flexibility in allocating the available transmit poweramong the N_(D) data symbol streams.

The rate adaptive transmission scheme may be used to transmit any numberof data symbol streams (i.e., N_(D) may be any value from 1 to N_(T)).The transmitter performs the spatial processing shown by equation (4)regardless of the number of data symbol streams being transmitted. Thedata vector x includes N_(D) non-zero entries for the N_(D) data symbolstreams and N_(T)-N_(D) zero entries. Each of the N_(D) data symbolstreams is associated with a respective non-zero diagonal element in thematrix Λ. Each of the N_(D) data symbol streams is further processedusing a respective row of the transmit basis matrix M for transmissionon a respective spatial channel, which is defined by a specific columnor eigenvector of the effective channel response matrix H_(eff).

It can be shown that the rate adaptive transmission scheme can provideimproved performance over conventional transmit diversity schemes. Forexample, the space-time diversity scheme described by S. M. Alamouti isoften used to transmit a single data symbol stream from a single pair oftransmit antennas to achieve transmit diversity. However, it can beshown that the rate adaptive transmission scheme can provide improvedperformance for the transmission of the single data symbol stream. Thereceived SNR, SNR_(ra), for the data symbol stream transmitted using therate adaptive transmission scheme with the best column of H_(eff) may beexpressed as:SNR_(ra)∝max_(i) {(∥h_(eff,i)∥²)·p_(tot)},  Eq(16)where “∝” denotes proportionality; and

-   -   ∥h_(eff,i)∥² is the 2-norm of h_(eff,i), which is the i-th        column or eigenvector of the effective channel response matrix        H_(eff).        Equation (16) indicates that the SNR of the single best data        symbol stream using the rate adaptive transmission scheme is        proportional to the 2-norm of the best eigenvector of H_(eff).        To obtain the SNR of equation (16), the receiver would need to        send back information indicating the best column of H_(eff) for        use by the transmitter.

The received SNR, SNR_(st), for the single data symbol streamtransmitted using the space-time diversity scheme may be expressed as:

$\begin{matrix}{{SNR}_{st} \propto {\sum\limits_{i = 1}^{N_{T}}\;{( {{\underset{\_}{h}}_{{eff},i}}^{2} ) \cdot {\frac{p_{tot}}{N_{T}}.}}}} & {{Eq}\mspace{14mu}(17)}\end{matrix}$Equation (17) indicates that the SNR of the single data symbol streamusing the space-time diversity scheme is proportional to the average ofthe 2-norms of the N_(T) eigenvectors of H_(eff). Equations (16) and(17) both assume transmission at full rate (i.e., without rate loss).However, since the space-time diversity scheme uses only two antennasfor transmitting the single data symbol stream, if N_(T)>2 then therewill be a rate loss.

It is well known that the following expression is always true:

$\begin{matrix}{{{\max_{i}\{ {{\underset{\_}{h}}_{{eff},i}}^{2} \}} \geq {\frac{1}{N_{T}}{\sum\limits_{i = 1}^{N_{T}}\;{{\underset{\_}{h}}_{{eff},i}}^{2}}}},} & {{Eq}\mspace{14mu}( {18a} )}\end{matrix}$and thusSNR_(ra)≧SNR_(st).  Eq (18b)Equations (18a) and (18b) indicate that the rate adaptive transmissionscheme can provide the same or better performance than the space-timediversity scheme. Moreover, the rate adaptive transmission scheme canprovide greater transmit diversity since the data symbol stream istransmitted from all N_(T) antennas. In contrast, the space-timediversity scheme transmits the single data symbol stream from only onepair of transmit antennas. Transmission of the single data symbol streamover multiple pairs of antennas may be possible for the space-timediversity scheme but may result in a rate loss or some other performancepenalty.

It should also be noted that the use of the transmit basis matrix M bythe rate adaptive transmission scheme allows for full utilization ofboth the total transmit power P_(tot) and the per-antenna power P_(ant)for data transmission, regardless of the number of data symbol streambeing transmitted. If the transmit basis matrix M is not used (i.e., ifM=I) and a single data symbol stream is transmitted from the single bestantenna using antenna multiplexing, then the received SNR for this datasymbol stream may be expressed as:

$\begin{matrix}{{SNR}_{am} \propto {\max_{i}{\{ {( {{\underset{\_}{h}}_{i}}^{2} ) \cdot \frac{p_{tot}}{N_{T}}} \}.}}} & {{Eq}\mspace{14mu}(19)}\end{matrix}$It can also be shown that the following expression is also always true:

$\begin{matrix}{{\max_{i}\{ {{\underset{\_}{h}}_{{eff},i}}^{2} \}} \geq {\frac{1}{N_{T}}{\max_{i}{\{ {{\underset{\_}{h}}_{i}}^{2} \}.}}}} & {{Eq}\mspace{14mu}(20)}\end{matrix}$Thus, the rate adaptive transmission scheme also outperforms the antennamultiplexing transmission scheme.

FIG. 1 shows a flow diagram of an embodiment of a process 100 fortransmitting N_(D) data symbol streams from N_(T) antennas using therate adaptive transmission scheme. As noted above, N_(D) may be anyvalue from 1 to N_(T) (i.e., N_(T)≧N_(D)≧1).

Initially, the total transmit power P_(tot) is allocated to the N_(D)data symbol streams (denoted by x) (step 112). The specific number ofdata symbol streams to transmit and the amount of power to allocate toeach data symbol stream may both be determined based on the channelcondition. For example, a “water-filling” procedure may be used todetermine the number of data symbol streams to transmit and the amountof power to use for each data symbol stream such that the overallthroughput is maximized. Water-filling is described in detail incommonly assigned U.S. patent application Ser. No. 10/056,275, entitled“Reallocation of Excess Power for Full Channel-State Information (CSI)Multiple-Input, Multiple-Output (MIMO) Systems,” filed Jan. 23, 2002,and by Robert G. Gallager in “Information Theory and ReliableCommunication,” John Wiley and Sons, 1968, both of which areincorporated herein by reference.

The amount of transmit power allocated to each data symbol stream x_(i)is denoted by a respective weight λ_(i,i). The N_(T) diagonal elementsof the matrix Λ are composed of N_(D) weights for the N_(D) data symbolstreams and (N_(T)-N_(D)) zeros. The total amount of transmit powerallocated to the N_(D) data symbol streams is less than or equal to thetotal transmit power of the system

$( {{i.e.},{{\sum\limits_{i = 1}^{N_{T}}\;\lambda_{i,j}^{2}} \leq P_{tot}}} ).$

A transmit basis matrix M is next selected for use (step 114). Thetransmit basis matrix M may be defined such that each data symbol streamis transmitted from all N_(T) antennas and the full power of eachantenna is used for data transmission. The transmit basis matrix M maybe defined as (1) the Walsh-Hadamard matrix W described in equations(10) through (12), (2) the DFT matrix described in equations (13)through (15), or (3) some other matrix.

Each data symbol stream x_(i) is then scaled with its associated weightλ_(i,i) in the diagonal matrix Λ (step 116). This scaling results ineach data symbol stream being transmitted with its allocated power. TheN_(D) scaled data symbol streams are then multiplied with the transmitbasis matrix M to obtain N_(T) transmit symbol streams (denoted by{tilde over (x)}) for the N_(T) transmit antennas (step 118). Thescaling of the N_(D) data symbol streams with the diagonal matrix Λ andthe multiplication with the transmit basis matrix M are shown inequation (4). Each transmit symbol stream {tilde over (x)}_(k) isfurther processed and then transmitted from an associated antenna (step120).

FIG. 2 shows a block diagram of an embodiment of a transmitter system210 and a receiver system 250 in a MIMO system 200. At transmittersystem 210, data for N_(D) streams is provided by a data source 212 andcoded and modulated by a transmit (TX) data processor 214 to providemodulation symbols, which are also referred to as data symbols. The datarate, coding, and modulation for each stream may be determined bycontrols provided by a controller 230. The data symbols are furtherscaled with the diagonal matrix Λ and spatially processed with thetransmit basis matrix M by a TX spatial processor 220 to providetransmit symbols. Pilot symbols, which may be used for channelestimation, are multiplexed with the transmit symbols. One stream ofmultiplexed transmit and pilot symbols is provided to, and processed by,each transmitter (TMTR) 222 to provide a corresponding RF modulatedsignal. The N_(T) modulated signals from transmitters 222 a through 222t are then transmitted from N_(T) antennas 224 a through 224 t.

At receiver system 250, the N_(T) transmitted signals are received byN_(R) antennas 252 a through 252 r. Each receiver (RCVR) 254 processes areceived signal from an associated antenna 252 to provide acorresponding received symbol stream. A receive (RX) spatial processor260 then processes the N_(R) received symbol streams from N_(R)receivers 254 a through 254 r to provide N_(D) “recovered” symbolstreams, which are estimates of the N_(D) data symbol streamstransmitted by the transmitter system. The N_(D) recovered symbolstreams are further processed by an RX data processor 270 to obtaindecoded data, which is an estimate of the data transmitted by thetransmitter system.

RX spatial processor 260 may also derive an estimate of the channelresponse between the N_(T) transmit and N_(R) receive antennas (e.g.,based on the pilot symbols). Channel estimation is described in detailin provisional U.S. patent application Ser. No. 60/438,601, entitled“Pilot Transmission Schemes for Wireless Multi-Carrier CommunicationSystems,” filed Jan. 7, 2003, assigned to the assignee of the presentapplication and incorporated herein by reference. The channel responseestimate Ĥ may be used to perform spatial processing or equalization atthe receiver. RX spatial processor 260 may further estimate the SNRs ofthe recovered symbol streams and/or the received pilot symbols.Controller 280 receives the channel response estimate Ĥ and the receivedSNRs and provides feedback regarding the MIMO channel and/or thestreams. For example, the feedback may indicate the number of datasymbol streams to transmit, which ones of the spatial channels oreigenvectors to use for data transmission, and the received SNR or ratefor each stream. The feedback is processed by a TX data processor 288,further processed by a TX spatial processor 290, conditioned bytransmitters 254 a through 254 r, and sent back to transmitter system210.

At transmitter system 210, the transmitted modulated signals fromreceiver system 250 are received by antennas 224, conditioned byreceivers 222 a through 222 t, demodulated by an RX spatial processor240, and processed by an RX data processor 242 to recover the feedbacksent by the receiver system. The feedback is then provided to controller230 and may be used to (1) determine the number of data symbol streamsto transmit, (2) determine the rate and coding and modulation scheme touse for each data symbol stream, and (3) generate various controls forTX data processor 214 and TX spatial processor 220.

Controllers 230 and 280 direct the operation at the transmitter andreceiver systems, respectively. Memory units 232 and 282 provide storagefor program codes and data used by controllers 230 and 280,respectively.

FIG. 3 shows a block diagram of the spatial processing at thetransmitter and receiver systems for the rate adaptive transmissionscheme. Within TX spatial processor 220 at transmitter system 210, thedata vector x is first multiplied with the diagonal matrix Λ by a unit310 and then further multiplied with the transmit basis matrix M by aunit 312 to obtain the transmit vector {tilde over (x)}. The vector{tilde over (x)} is then processed by a transmitter 314 and transmittedover the MIMO channel to receiver system 250. Unit 312 performs thespatial processing for the transmitter system.

At receiver system 250, the transmitted signals are processed by areceiver 354 to obtain the receive vector y. Within RX spatial processor260, the receive vector y is first multiplied with a matrix Ĥ_(eff) ^(H)by a unit 356. An effective channel response estimate matrix Ĥ_(eff) maybe obtained as Ĥ_(eff)=ĤM, and the matrix Ĥ_(eff) ^(H) is the conjugatetranspose of Ĥ_(eff). The matrix Ĥ_(eff) ^(H) is also referred to as thematched filter matrix for the rate adaptive transmission scheme. Theresultant vector from unit 356 is further scaled by an inverse diagonalmatrix {circumflex over (Λ)}⁻¹ by a unit 358 to obtain the vector{circumflex over (x)}, which is an estimate of the data vector x. Units356 and 358 perform the spatial processing (i.e., matched filtering) forthe receiver system.

FIG. 4 shows a block diagram of a TX spatial processor 220 x, which isan embodiment of TX spatial processor 220 in FIG. 2. TX spatialprocessor 220 x includes a number of data symbol stream spatialprocessors 410 a through 410 t, one processor for each of the N_(D) datasymbol streams to be transmitted. Each processor 410 receives anassigned data symbol stream x_(i), the weight λ_(i,i) for the assignedstream, and a corresponding vector m_(i) from the transmit basis matrixM.

Within each processor 410, the data symbols in the assigned stream x_(i)are first scaled with the weight λ_(i,i) by a multiplier 412. The scaleddata symbols are further multiplied by N_(T) multipliers 414 a through414 t with N_(T) elements M_(1,i) through M_(N) _(T) _(,i),respectively, from the vector m_(i). Each data symbol stream x_(i) isthus transmitted from all N_(T) antennas and represented by a vector{tilde over (x)}_(i), which may be expressed as:{tilde over (x)} _(i) =m _(i)·λ_(i,i) ·x _(i).  Eq (21)

The output symbols from multipliers 414 a through 414 t are thenprovided to N_(T) summers 420 a through 420 t, respectively, one summerfor each transmit antenna. Each summer 420 receives the output symbolsfor its assigned antenna, which are from N_(D) multipliers 414 withinN_(D) processors 410 assigned to process the N_(D) data symbol streams.Each summer 420 then sums the output symbols and provides the transmitsymbols for its assigned antenna. The summation performed by each summer420 may be expressed as:

$\begin{matrix}{{{\overset{\sim}{x}}_{k} = {\sum\limits_{i = 1}^{N_{D}}\;{\overset{\sim}{x}}_{k,i}}},} & {{Eq}\mspace{14mu}(22)}\end{matrix}$where {tilde over (x)}_(k,i) is the k-th element in the vector {tildeover (x)}_(i) for the i-th data symbol stream; and

-   -   {tilde over (x)}_(k) is the transmit symbol stream for the k-th        transmit antenna.        The transmit symbols from each summer 420 are provided to a        respective multiplexer 430 and multiplexed with pilot symbols to        provide a stream of multiplexed transmit and pilot symbols for        the associated antenna.

The rate adaptive transmission scheme described herein may be used forsingle-carrier MIMO systems as well as multi-carrier MIMO systems. For amulti-carrier MIMO system, each of the multiple carriers available fordata transmission may be viewed as a single-carrier MIMO system. Thetotal transmit power P_(tot) and the per-antenna power P_(ant) may bedivided equally (or possibly unequally) among N_(F) carriers such thatP_(tot) _(—) _(car)=P_(tot)/N_(F) and P_(ant) _(—) _(car)=P_(ant)/N_(F).The rate adaptive transmission scheme may then be applied to each of theNF carriers with the per-carrier total power constraint of P_(tot) _(—)_(car) and the per-antenna/carrier power constraint of P_(ant) _(—)_(car).

The rate adaptive transmission scheme described herein may beimplemented by various means at the transmitter and receiver systems.For example, the processing for the rate adaptive transmission schememay be implemented in hardware, software, or a combination thereof. Fora hardware implementation, the elements used to perform the processingat the transmitter and receiver systems may be implemented within one ormore application specific integrated circuits (ASICs), digital signalprocessors (DSPs), digital signal processing devices (DSPDs),programmable logic devices (PLDs), field programmable gate arrays(FPGAs), processors, controllers, micro-controllers, microprocessors,other electronic units designed to perform the functions describedherein, or a combination thereof.

For a software implementation, the processing for the rate adaptivetransmission scheme may be implemented with modules (e.g., procedures,functions, and so on) that perform the functions described herein. Thesoftware codes may be stored in a memory unit (e.g., memory units 232and 282 in FIG. 2) and executed by a processor (e.g., controllers 230and 280). Each memory unit may be implemented within the processor orexternal to the processor, in which case it can be communicativelycoupled to the processor via various means as is known in the art.

The previous description of the disclosed embodiments is provided toenable any person skilled in the art to make or use the presentinvention. Various modifications to these embodiments will be readilyapparent to those skilled in the art, and the generic principles definedherein may be applied to other embodiments without departing from thespirit or scope of the invention. Thus, the present invention is notintended to be limited to the embodiments shown herein but is to beaccorded the widest scope consistent with the principles and novelfeatures disclosed herein.

1. A receiver apparatus in a multiple-input multiple-output (MIMO)communication system, comprising: means for obtaining a plurality ofstreams of received symbols for a plurality of receive antennas, whereinthe plurality of received symbol streams comprise at least one stream ofdata symbols having been processed with a transmit basis matrix to forma plurality of streams of transmit symbols for a plurality of transmitantennas, wherein the transmit basis matrix is defined such that each ofthe at least one data symbol stream is transmitted from the plurality oftransmit antennas and each transmit symbol stream is transmitted at ornear full power available for the associated transmit antenna; and meansfor processing the plurality of received symbol streams to recover theat least one data symbol stream.
 2. The receiver apparatus of claim 1,wherein the means for processing includes means for equalizing theplurality of received symbol streams to obtain an estimate of the atleast one data symbol stream, and means for decoding the estimate of theat least one data symbol stream.
 3. The receiver apparatus of claim 1,further comprising: means for estimating a received signal quality foreach of the at least one data symbol stream; and means for determining arate for each of the at least one data symbol stream based on theestimated received signal quality.
 4. A processor-readable memory havinginstructions thereon, the instructions being executable for: receivingat least one stream of data symbols for transmission from a plurality ofantennas; scaling each of the at least one data symbol stream with arespective weight corresponding to an amount of transmit power allocatedto the data symbol stream, wherein total amount of transmit powerallocated to the at least one data symbol stream is less than or equalto total transmit power available for the system; and processing the atleast one data symbol stream with a transmit basis matrix to provide aplurality of streams of transmit symbols, one transmit symbol stream foreach of the plurality of antennas, wherein the transmit basis matrix isdefined such that each of the at least one data symbol stream istransmitted from the plurality of antennas and each transmit symbolstream is transmitted at or near full power available for the associatedantenna.
 5. The processor-readable memory of claim 4, wherein thetransmit basis matrix is a Walsh-Hadamard matrix.
 6. Theprocessor-readable memory of claim 4, wherein the transmit basis matrixis a discrete Fourier transform (DFT) matrix.
 7. The processor-readablememory of claim 4, wherein the instructions are further executable for:allocating the total transmit power to the at least one data symbolstream, and wherein the weight for each data symbol stream is determinedbased on the amount of transmit power allocated to the data symbolstream.
 8. The processor-readable memory of claim 7, wherein the amountof transmit power allocated to each of the at least one data symbolstream is determined based on channel condition.
 9. Theprocessor-readable memory of claim 4, wherein a single data symbolstream is transmitted from the plurality of antennas at or near fullpower available for each of the plurality of antennas.
 10. Theprocessor-readable memory of claim 9, wherein the single data symbolstream is transmitted on a spatial channel associated with a highestreceived signal quality.
 11. The processor-readable memory of claim 4,wherein N_(T) data symbol streams are transmitted from N_(T) antennas ator near full power available for each of the N_(T) antennas, where N_(T)is an integer greater than one.
 12. The processor-readable memory ofclaim 4, wherein N_(D) data symbol streams are transmitted from N_(T)antennas at or near full power available for each of the N_(T) antennas,where N_(T) is an integer greater than one and N_(D) is an integer lessthan or equal to N_(T).
 13. The processor-readable memory of claim 4,wherein a variable number of data symbol streams is transmitted based onchannel condition.
 14. The processor-readable memory of claim 4, whereineach of the at least one data symbol stream is associated with aparticular rate determined based at least in part on a received signalquality for the data symbol stream.
 15. The processor-readable memory ofclaim 4, wherein the instructions are further executable for:multiplexing pilot symbols in each of the plurality of transmit symbolstreams.
 16. A processor-readable memory having instructions thereon,the instructions being executable for: obtaining a plurality of streamsof received symbols for a plurality of receive antennas, wherein theplurality of received symbol streams comprise at least one stream ofdata symbols having been processed with a transmit basis matrix to forma plurality of streams of transmit symbols for a plurality of transmitantennas, wherein the transmit basis matrix is defined such that each ofthe at least one data symbol stream is transmitted from the plurality oftransmit antennas and each transmit symbol stream is transmitted at ornear full power available for the associated transmit antenna; andprocessing the plurality of received symbol streams to recover the atleast one data symbol stream.
 17. The processor-readable memory of claim16, wherein the processing includes equalizing the plurality of receivedsymbol streams to obtain an estimate of the at least one data symbolstream, and decoding the estimate of the at least one data symbolstream.
 18. The processor-readable memory of claim 17, wherein theequalizing is performed based on a matched filter matrix that comprisesthe transmit basis matrix.
 19. The processor-readable memory of claim16, wherein the instructions are further executable for: estimating areceived signal quality for each of the at least one data symbol stream;and determining a rate for each of the at least one data symbol streambased on the estimated received signal quality.